Finra definition of institutional investor
[PDF File]SECURITIES AND EXCHANGE COMMISSION
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former customer would not include a customer account that meets the definition of an institutional account pursuant to FINRA Rule 4512(c); provided, however, accounts held by a natural person would not quali fy for the institutional account exception. 7 6 See proposed FINRA Rule 2273(a). 7 See proposed FINRA Rule 2273.01 (Definition).
[PDF File]Flnra - SEC
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The proposed definition would include the persons listed within the definition of "institutional account" in FINRA Rule 4512( c). These persons include banks, savings and loan associations, insurance companies, registered investment companies, registered investment advisers, and any other person (not included in the prior categories) with total
[PDF File]Regulatory Notice 12-29 - FINRA
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00 Institutional communication includes written (including electronic) communications that are distributed or made available only to institutional investors, but does not include a firm’s internal communications. “Institutional investor” generally has the same definition as under NASD Rule 2211(a)(3).4
[PDF File]FINRA Communication Rules - Mayer Brown
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FINRA Communication Rules Rule 2210 governs three categories of “communications” by FINRA member firms: institutional communications, retail communications and correspondence. The Rule sets forth requirements relating to approval, review and recordkeeping of communications; filing requirements and review procedures; and content standards.
[PDF File]Regulatory Notice 11-02 - FINRA
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Institutional-Investor Exemption FINRA Rule 2111(b) provides an exemption to customer-specific suitability for ... January 2011 11-02 with the more common definition of “institutional account” in NASD Rule 3110(c)(4).23 Beyond the definitional requirements, the exemption’s main focus is whether the broker
[PDF File]Regulatory Notice 13-31 - FINRA
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FINRA Rule 2111(b) provides an exemption to customer-specific suitability for recommendations to institutional customers if three criteria are satisfied. First, the customer must meet the FINRA Rule 4512(c) definition of “institutional account.” Second, the firm must have “a reasonable basis to believe the institutional customer is capable of
[PDF File]Regulatory Notice 20-04 - FINRA
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Institutional Investor Definition A CAB may act as a placement agent or finder in the sale of newly-issued unregistered securities to “institutional investors.”5 The term “institutional investor” for purposes of the CAB rules includes banks, investment companies, large employee benefit plans and
[PDF File]SECURITIES AND EXCHANGE COMMISSION December 5, 2011 and Rule
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of the Regulatory Notice, several firms requested guidance regarding the application of FINRA Rule 4512(a)(1)(C) to institutional accounts. Servicing Institutional Accounts . FINRA Rule 4512 requires firms to maintain certain information relating to customer accounts, and it is based on existing requirements in NASD Rule 3110(c) (Customer Account
[PDF File]CAI INSTITUTIONAL SERVICES, LLC k.finra.org
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· FINRA recommends that you learn as much as possible about an investment professional before deciding to work with them. Your state securities regulator can help you research brokers and investment adviser representatives doing business in your state. · Thank you for using FINRA BrokerCheck. For more information about FINRA, visit www.finra.org.
[PDF File]FINRA Releases Additional Guidance Regarding the Use of Pre-Inception ...
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FINRA’s guidance “does not affect FINRA’s long standing position that the presentation of hypothetical ... 1 As defined in FINRA Rule 2210(a)(4), an “institutional investor” is generally a financial institution, registered investment advisor, person (natural or otherwise) with assets of at least $50 million, governmental entity ...
[PDF File]Extending FINRA's Rules To Debt Research - Fried Frank
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The FINRA rule proposal would expand the existing regulatory framework for equity research under which the research function must be kept separate from other firm interests in debt research. However, the proposed rule would create a two-tiered approach, where institutional investors have the ability to opt out of most of its provisions.
[PDF File]Regulatory Notice 16-37 - FINRA
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Rule 2210 (Communications with the Public), with one exception: the term “institutional investor” in CAB Rule 016, but not FINRA Rule 2210, includes any person meeting the definition of “qualified purchaser” as that term is defined in Section 2(a)(51) of the Investment Company Act of 1940 (1940 Act).3
[PDF File]Regulatory Notice 12-42 - FINRA
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broker-dealer could obtain agreement by way of negative consent, if the institutional investor chose not to notify the firm that it wishes to be treated as a retail investor. The higher tier exemption would be available to an institutional investor that: 1. 4meets the definition of Qualified Institutional Buyer (QIB); and 2.
[PDF File]SECURITIES AND EXCHANGE COMMISSION
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the current definition of “institutional sales material” under NASD Rule 2211(a)(2): written (including electronic) communications that are distributed or made available only to institutional investors. “Institutional investor” generally would have the same definition as under NASD Rule 2211(a)(3).
[PDF File]Frequently Asked Questions about Rule 15a - 6
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A major U.S. institutional investor is a U.S. institutional investor or any other entity which owns or manages at least $100 million in financial assets. Financial assets include securities of unaffiliated issuers, cash, money market instruments, futures, and other derivative instruments. May a foreign broker-dealer initiate transactions or ...
NAVIGATING FINRA RULE 2210: A GUIDE TO COMPLIANT COMMUNICATION
FINRA Rule 2210 (the “Rule”) governs broker dealers’ communications with the public, including both retail communication and communication with institutional investors. The overall purpose aims to provide cohesive standards for the content, approval, recordkeeping, and filing of communications with FINRA.
[PDF File]Current Rule Definitions
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Please see FINRA Rule 2210 for details of these and other requirements. Retail Communications means any written (including electronic) communication that is distributed or made available to more than 25 retail investors within any 30 calendar-day period. Retail investor means any person other than an institutional investor, regardless of
[PDF File]Frequently Asked Questions about the FINRA Communication Rules
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(E) FINRA member or registered person of that member; and (F) person acting solely on behalf of any such institutional investor. No member may treat a communication as having been distributed to an institutional investor if the member has reason to believe that the communication
[PDF File]HARTFORD INSTITUTIONAL INVESTORS SERVICE CO.
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· FINRA recommends that you learn as much as possible about an investment professional before deciding to work with them. Your state securities regulator can help you research brokers and investment adviser representatives doing business in your state. · Thank you for using FINRA BrokerCheck. For more information about FINRA, visit www.finra.org.
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